WHAT DOES
THIS TOPIC INCLUDE?

This chapter discusses the policy and procedures
regarding energy analysis, including when an energy analysis
is required for a proposed project. This chapter
also provides general guidance on how to conduct and write
an energy analysis as well as provides a brief discussion
on climate change, focused primarily at the state level.

FURTHER REFERENCE

BACKGROUND

Transportation-related activities account
for approximately half of all the petroleum products consumed
in California (Department of Energy, Petroleum Profile, 2000). While
state and federal policies, such as the California Low-Emission
Vehicle Program and the Federal Energy Policy Act of 1992,
are increasing the use of alternative-fuel and low-emission
vehicles, the consumption of non-renewable resources, such
as fossil-fuels, remains high and points to the need to conserve
such energy resources. Both the National Environmental
Policy Act (NEPA) [Section 102(2)] and the California Environmental
Quality Act (CEQA) Guidelines (Appendix F) require the identification
of potentially substantial (significant) energy impacts.

The need to develop energy efficient projects
is also highlighted in the Director’s Policy on Energy
Efficiency, Conservation and Climate Change (DP-23-R1June
2007), which states:

The intent of this policy is to implement a comprehensive,
long-term departmental energy policy, interagency collaboration,
and a coordinated effort in energy and climate policy,
planning, and implementation.”

INTERAGENCY
COORDINATION

With respect to energy, Caltrans has the
primary oversight of the analysis, for state-only projects,
as well as federally-funded projects.
For further guidance, see SER Volume 1,
Chapter 38, NEPA Assignment.

Preliminary
Environmental Assessment Report (PEAR) Preparation

Consideration of potential energy impacts
should begin as early in the project development process
as possible. In current practice, the energy analysis
is often overlooked until the writing of the draft environmental
document commences. Discussions regarding energy should
be included as part of the scoping process and the results
included in the Preliminary Environmental
Analysis Report (PEAR). When preparing the energy
portion of the PEAR, points to consider include: 1) whether
an energy analysis is needed for the proposed project; and
2) if an energy analysis is needed, what would be the proper
scope of the analysis?

REPORTING

Determining
the Need for a Separate Technical Report

For most projects, a separate detailed energy study will not be
required. Per the FHWA Technical
Advisory 6640.8A, a detailed energy study, including computations,
is only required for large-scale EIS projects with potentially
substantial energy impacts. Note: These types of projects are relatively
rare. Balancing energy used during construction and operation against
energy saved by relieving congestion and reducing out of direction
travel, most projects, even new highway projects, would not have
substantial energy impacts. The level of effort for the energy
analysis should be based on the anticipated impact the project
will have on energy use. If the project is not likely to have substantial
impacts on energy consumption, then more generalized procedures
can be used to conduct the analysis. For most projects, this means
only general construction and operational energy requirements and
conservation potential of the various alternatives needs to be
discussed.

The
Technical Report:

Preparer
Qualifications

There are no specific preparer qualifications for energy
studies. Because of the overlap in data needs between the
air quality study and the energy study, the energy study
may be best prepared by an environmental engineer.

Recommended
Methodologies

Collect and Develop Data. Often required data will
not be available in sufficient detail. Gaps in the
data can be covered by reasonable estimates and assumptions. Items
to collect data on, include:

Direct energy use.
Direct energy use is the energy consumed in the actual propulsion
of a vehicle using the facility. It can be measured in terms
of the thermal value of the fuel [usually measured in British thermal
units (BTUs) or Joules], the cost of the fuel, or the quantity
of electricity used in the engine or motor.
Data:

Indirect energy use.
Indirect energy is defined as all the remaining energy
consumed to run a transportation system, including
construction energy, maintenance energy, and any
substantial impacts to energy consumption related
to project induced land use changes and mode shifts,
and any substantial changes in energy associated
with vehicle operation, manufacturing or maintenance
due to increased automobile use.
Data:

Peripheral effects—change in land use with
time, change in fuel source with time, change in
local energy need with time, future power plant
sites, and location of energy —related natural
resources.

Service parameters.
Service parameters concern the actual transportation
service versus the potential transportation service.
Potential service of a vehicle would be the maximum
rated capacity for passengers or cargo, and actual
service is the real number it does carry. The
ratio of actual service rendered versus potential service
is called the “load factor.”
Data:

Select or develop appropriate energy use factors. These
are statistical averages for items such as fuel consumption
in gallons per mile for a given grade.

Analyze data. The data may be analyzed using a
variety of qualitative and/or quantitative methods. Please
see “Energy Requirements for Transportation Systems” for
detailed information.

Compare alternatives.
The total direct and indirect energy consumption of each
alternative forms the basis of comparison for the study. Keep
in mind that while the “no-build” alternative
does not require immediate consumption of large quantities
of energy, it may use larger quantities of energy in
the future as traffic worsens. Furthermore, two
highway alternatives may vary substantially with respect
to direct and indirect energy consumption. For
example, a roadway tunnel may cut distance and grade
traveled by vehicles, thus reducing direct energy consumption,
but will probably require more indirect energy to construct
than a non-tunnel route.

Content
and Recommended Format

The energy study serves the following functions: 1)
Describe the existing energy use as a baseline against which
the future energy changes can be evaluated, 2) Provide energy
consumption and conservation input into the environmental
document, 3) Provide planners with energy consumption information
that will allow logical trade-off analyses for modal and
operational alternatives, 4) Provide designers with energy
consumption information that will enable optimization of
geometric and structural design, volume and flow alternatives
and materials use, 5) Encourage and provide information for
analysis of operations during construction to conserve energy,
6) Provide energy consumption information that will allow
optimization during operation and maintenance, and 7) Provide
an energy input to transportation system management measures.

The recommend format for an energy study
is as follows:

Non-technical
Portion (or Summary)

Introduction—Includes project description and background
and places the project in the context of energy related
problems and constraints in the project region.

Conclusions—Summarizes the energy consumption comparison
of alternatives, including the no-build. Discusses
unavoidable adverse effects on energy (if applicable),
effect of the alternatives on local short-term uses of
the energy resource and the enhancement of long-term productivity,
the irreversible and irretrievable commitments of energy,
and mitigation measures or energy conservation measures.

Technical Portion

Background discussion—Provides information on the
project in terms of its energy setting/baseline.

Data bank and contact description—Describe where,
how and what kind of data was used.

Description of analytical approach

Predictions of energy consumption and conservation—Represents
the
“results” of the study, which are energy comparisons
for all the proposed alternatives.

Design information—Discussion of materials and
design parameters that offer energy economies or wasteful
energy expenditures. Some of these will be discussed
as mitigation measures.

Construction information—Discussion potential measures
that can be taken to conserve energy in construction.

There are no formalized processing requirements
for the energy study. However, the draft energy
study should be reviewed by the environmental generalist
(project coordinator), the project manager and the project
engineer at minimum. Following the Caltrans internal
review of the draft energy study, the energy study may be
finalized. For further guidance, see SER
Volume 1, Chapter 38, NEPA Assignment.

Information
for Environmental Documentation

When energy is a potentially substantial
issue for a proposed EIR/EIS project, a separate section
of the environmental document must discuss energy. NOTE: In
practical terms, this means a separate energy section is
rarely needed in the environmental document. If one
is needed, then the environmental document should discuss
the following:

Affected Environment
Include existing energy consumption

Impacts
Where the proposed project will cause no net increase in
energy consumption, the text should state that’s
the case and briefly explain why. It might recognize
that the energy requirement of the various construction
alternatives are similar and are generally greater than
the energy requirements of the no-build. Additionally,
the discussion could point out that the post-construction,
operational requirements of the facility should be less
with the build alternatives as opposed to the no-build
alternative. In such a situation, the conclusion
could be made that the savings in operation energy requirements
would more than offset construction energy requirements
and thus, in the long term, result in a net savings in
energy usage.
If the project will cause a net increase in energy consumption,
consider in terms of BTUs, quantities of fuel consumed
or costs of energy consumed by each alternative:

Indirect energy used in the construction,
operation and maintenance of the facility (compare
proposed facility with existing conditions

Energy used by the vehicle and machines to construct the facility

Impact of local fuel availability during construction

Energy invested in materials used during construction

Energy use for street lighting and tunnel operations

Changes in land use and impact on commuting trips

Trip diversion to other modes (more or less efficient)

Impact on the production of energy (if any)

Mitigation
Describe mitigation measures and commitments during construction,
operation and maintenance that will be implemented as
part of the project. If there are some mitigation
measures that were considered but rejected, state the
reason why. Potential mitigation measures include:

Other conservation incentives (such as low emission
vehicle program and alternative fuel vehicles)

Consistency with Energy Conservation Plans
Each alternative’s relationship and consistency with
state and/or regional energy plan(s) should be discussed.

Other sections of the environmental document
Discuss unavoidable adverse effects on energy (if applicable),
effect of the alternatives on local short-term uses of
the energy resource and the enhancement of long-term
productivity, and the irreversible and irretrievable
commitments of energy.

TIMING
OF STUDIES WITH THE ENVIRONMENTAL PROCESS

Information from the energy study will be
summarized in the draft environmental document; therefore,
the energy study must be completed prior to the completion
of the draft environmental document. To the extent
that the proposed project is modified or new information
is obtained after circulation of the draft environmental
document, the energy study may need to be revised prior to
completion of the final environmental document.

INFORMATION
NEEDED FOR PROJECT DELIVERY

Regional Transportation
Plan

The Metropolitan Planning Organization (MPO) or Regional Transportation
Planning Agency (RTPA) preparing the Regional Transportation Plan
(RTP) will need to coordinate with the Department to obtain information
on the Department’s future projects. Most MPOs and RTPAs
will conduct their own regional energy analysis as part of the
environmental document for the RTP. Energy information contained
in the RTP may be useful for completing the cumulative impacts
section of the Department’s environmental document for a
proposed project.

Project Initiation
Document

Projects on the State Highway System (SHS)
- At the Project Initiation stage, the need for an energy
study should be determined and discussed in the Preliminary Environmental Analysis Report (PEAR). If an energy
study is needed, the cost, scope and schedule of the study
should be determined. Cost estimates of potential energy
conservation measures should also be developed if needed.

Projects "off" the SHS (Local
Assistance) The need for an energy study should be addressed
in the Preliminary Environmental Study (PES). If an energy
study is needed, the cost, scope and schedule of the study
should be determined. Cost estimates of potential energy
conservation measures should also be developed if needed.

Draft Project
Report

As discussed above, the energy study must be completed
prior to completion of the draft environmental document
and draft project report. The potential energy impacts
of each alternative should be analyzed and discussed in
the environmental document along with any proposed mitigation
measures. Potential energy-saving and energy-wasting alternatives
should be highlighted in the draft project report, including
costs of proposed mitigation measures.

Project Report

The energy study may be revised after circulation and
public comment on the draft environmental document. To
the extent that potential impacts and mitigation measures
change, that information should be reflected in the final
environmental document and project report.

PERMIT
REQUIREMENTS

There are no permits required with respect
to potential energy impacts.

ACTIVITIES
THAT MAY OCCUR DURING THE PROJECT DESIGN, CONSTRUCTION, AND
MAINTENANCE PHASE

If energy-saving measures have been identified
in the energy study, these measures are incorporated into
the project design at the design phase. This could
include highway features such as grades, curvatures, pavement
surfaces, solar powered equipment and lighting. Energy
conservation measures may also come into play during construction
when selecting fuel-efficient vehicle and haul routes. Maintenance
activities that conserve energy may also be identified and
implemented.

CLIMATE
CHANGE (CA/CEQA ONLY)

For a summary of legislation related to
climate change and greenhouse gas emissions reduction, please
see the California Climate Change website.

While climate change has been a concern
since at least 1988, as evidenced by the establishment of
the United Nations and World Meteorological Organization’s Intergovernmental
Panel on Climate Change (IPCC),
the efforts devoted to greenhouse gas (GHG) emissions reduction
and climate change research and policy have increased dramatically
in recent years. Greenhouse gases related to human activity
include: Carbon
dioxide, Methane, Nitrous
oxide, Tetrafluoromethane, Hexafluoroethane, Sulfur hexafluoride, HFC-23, HFC-134a*,
and HFC-152a*. In 2002,
with the passage of Assembly Bill 1493 (AB
1493), California launched an innovative and pro-active approach
to dealing with GHG emissions and climate change at the state
level. AB 1493 requires the Air Resources Board (ARB)
to develop and implement regulations to reduce automobile
and light truck GHG emissions; these regulations will apply
to automobiles and light trucks beginning with the 2009 model
year.

On June 1, 2005, Governor Arnold Schwarzenegger
signed Executive Order S-3-05.
The goal of this Executive Order is to reduce California’s
GHG emissions to: 1) 2000 levels by 2010, 2) 1990 levels
by the 2020 and 3) 80% below the 1990 levels by the year
2050. In 2006, this goal was further reinforced with
the passage of Assembly Bill 32 (AB 32),
the Global Warming Solutions Act of 2006. AB 32 sets
the same overall GHG emissions reduction goals while further
mandating that ARB create a plan, which includes market mechanisms,
and implement rules to achieve “real, quantifiable,
cost-effective reductions of greenhouse gases.” Executive Order S-20-06further
directs state agencies to begin implementing AB 32, including
the recommendations made by the state’s Climate Action
Team.

Climate change and GHG reduction is also
a concern at the federal level; however, at this time, no
federal legislation or regulations have been enacted specifically
addressing GHG emissions reductions and climate change.

According to the Intergovernmental Panel
on Climate Change’s (IPCC) report, Climate Change 2007: The Physical Science Basis: Summary
for Policymakers (February
2007) , there
is no doubt that the climate system is warming. Global
average air and ocean temperatures as well as global average
sea level are rising [Intergovernmental Panel on Climate
Change. Climate Change 2007: The Physical Science
Basis: Summary for Policymakers (February 2007),
p 5]. From 1995-2006, 11 of those 12 years have ranked
as among the warmest on record since 1850 (Ibid,
p. 5.). While some of the increase is explained by
natural occurrences (Ibid, p. 5.), the 2007 report
asserts that the increase in temperatures is very likely
(> 90%) due to human activity, most notably the burning
of fossil fuels (Ibid, p. 10).

For California, similar effects are described
in the California Climate Change Center report, Our Changing Climate: Assessing the Risks to California (July
2006).
Based on projections using state of the art climate modeling,
the temperatures in California are expected to rise between
3 degrees Fahrenheit to 10.5 degrees Fahrenheit by the end
of the century depending on how much California is able to
reduce its GHG emissions. The report states that these
temperature increases will negatively impact public health,
water supply, agriculture, plant and animal species, and
the coastline. [See California Climate Change Center. Our
Changing Climate: Assessing the Risks to California (July
2006), p. 1.]

According to a recent white paper by the
Association of Environmental Professionals [Hendrix, Michael
and Wilson, Cori. Recommendations by the Association of Environmental Professionals
(AEP) on How to Analyze Greenhouse Gas Emissions and Global
Climate Change in CEQA Documents(March
5, 2007), p. 2], “an individual project does not generate
enough greenhouse gas emissions to significantly influence
global climate change. Global climate change is a cumulative
impact; a project participates in this potential impact through
its incremental contribution combined with the cumulative
increase of all other sources of greenhouse gases.” NOTE:
The Department has developed its own approach to addressing
climate change in our CEQA document; please see the Department’s
annotated outlines on the SER Forms and
Templates page. The graph below
shows all sources of greenhouse gas emissions in California
from 1990-2004. There are five main sources of GHG
emissions (listed in decreasing order of GHG emissions):
transportation (blue), electricity production (peach), industrial
(yellow), commercial, residential and others (magenta) and
agricultural and forestry (green). The graph illustrates
the complex and multi-faceted nature of GHG emissions and
climate change.

California Gross
GHG Emissions

Because climate change is a newly emerging
topic in environmental documents and general plans, data
on GHG emissions is largely unavailable or newly emerging. The
California Energy Commission’s Greenhouse Gas Inventory
[California Energy Commission. Staff Final Report: Inventory of California Greenhouse
Gas Emissions and Sinks: 1990-2004 (December
2006)] represents
the best currently available data on GHG emissions in California.
In 2006, the Energy Commission began proceedings on updating
the inventory. When finalized, the update of the GHG
emission inventory will include projections on GHG emissions
for 2010 and 2020. The 1990-2004 inventory does include
a very rough projection of total GHG emissions based on a “business-as-usual” trend;
this approach does not take into account voluntary and mandated
GHG emission reduction strategies. The projection shows
an estimated increase from approximately 460 to 590 million
metric tons carbon dioxide equivalent (Ibid, Figure
12, p. 22).

There is currently no mandatory reporting of GHG emissions
and most environmental and planning documents are only just
beginning to consider even a qualitative approach to GHG
emissions and climate change. Note: AB 32 requires
ARB to promulgate regulations to report and verify greenhouse
gas emissions on or before January 1, 2008. The California Climate Action Registry (the
Registry) was established by California statute as a non-profit
voluntary registry for greenhouse gas (GHG) emissions. The
purpose of the Registry is to help companies and organizations
with operations in the state to establish GHG emissions baselines
against which any future GHG emission reduction requirements
may be applied. In an effort to exhaust all data sources,
the California Climate Action Registry can be considered;
however, the reporting of GHG in that registry is purely
voluntary and as such does not give a complete inventory
of GHG emissions in California.

The Department and its parent agency, the
California State Transportation Agency, have taken
an active role in addressing GHG emission reduction and climate
change. Recognizing that 98 percent of California’s
GHG emissions are from the burning of fossil fuels and 40
percent of all human made GHG emissions are from transportation,
the Department has created and is implementing the Climate Action
Program at Caltrans (December 2006).

One of the main strategies in the Department’s
Climate Action Program to reduce GHG emissions is to make
California’s transportation system more efficient. The
highest levels of carbon dioxide from mobile sources, such
as automobiles, occur at stop-and-go speeds (0-25 miles per
hour) and speeds over 55 mph. Relieving congestion
by enhancing operations and improving travel times in high
congestion travel corridors will lead to an overall reduction
in GHG emissions.

For information regarding how to address
climate change in the CEQA portion of the Department’s
environmental documents, please see the Department’s
annotated outlines on the forms and templates page
of Volume 1 of the SER.